/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities
market. The rest can invest in other assets investible by debt securities funds and investment in distressed bonds is prohibited; (5) Concentration in corporate bonds of any issuing company must not
crowdfunding; (2) Requiring bondholders’ representatives to have paid-up registered capital of at least 25 million baht, which is comparable to securities companies maintaining clients' assets in
(both securities and digital assets) approved by the SEC into the DGA’s Citizen Portal to support investment decision-making. This government’s super app consolidates various government services into one
units on the SET; and (3) Allowing the Ministry of Finance to make payments for the purchase of investment units in the form of securities or other assets (pay-in-kind). The
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
comply with the SEC’s investment rules regardless of EA shares not considered eligible assets for Thailand ESG Funds. For other mutual funds, the investment value in EA securities is equivalent to 0.06